83 FR 48733
Amendment to Single Issuer Exemption for Broker-Dealers
Overview
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 ("Exchange Act'). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
Prior Actions
Last Reviewed or Updated: April 7, 2023
Resources
Details
August 13, 2019
84 FR 27708